' NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between) ) KEN AND GEORGETTE WADULAK ) Claimants ) AWARD v. ) NO. 88-01992 ) LASALLE SECURITIES, INC. and ) SECURITIES SETTLEMENT CORP. ) Respondents ) On Thursday, May 4, 1989, the undersigned arbitrators heard the controversy between the parties' as set forth in submissions to arbitration executed by Claimants' Ken Wadulak and Georgette Wadulak, husband

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Robert N. and Ella S. Ristad Foundation Claimant ) et al. ) Case *88-01990 ) vs. ) Award ) Drexel Burnham Lambert, Inc. & Respondents ) Donald Zepp ) CASE SUMMARY This case was filed on June 20, 1988. Claimants made the following claims: Violation of Securities Exchange Act of 1934 Section 10(b) and Rule lofb)5 of the United States Securitie

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) LEWIS F. AND SUSAN T. BUCKINGHAM ) Claimants ) and ) ) CASE NO. 88-01989 NEWHARD, COOK & CO. AND ) RICHARD LONGSDORF ) Respondents ) CASE SUMMARY Claimants, Lewis F. Buckingham and Susan T. Buckingham ("Buckinghams") alleged that Newhard, Cook & Co. and their representative Richard Longsdorf engaged in the trading of Index Options in the Bucki

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joseph J. Stronko Claimant(s) vs. 88-01978 Michelin & Co., Inc. J. W. Gant & Assocs., Inc. and Robert Carlin Respondent(s) AWARD The Arbitrator, Anne Cugliani, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the Claimant on June 16, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John H. -and Gloria M. Pollack, JTWROS Claimant(s) vs. 88-01977 Merrill Lynch, Pierce, Fenner & Smith, Inc. and David Wisehaupt. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) John H. and Gloria M. Pollack, JTWROS alleged that Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. and David Wisehaupt mishandled Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marilyn Burris Claimant CASE 88-01974 AWARD vs. PaineWebber Jackson & Curtis, Inc. Smith Barney Harris Upham & Co., Inc. Donald Porter Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1988, Claimant Marilyn Burris alleged Respondents breached the fiduciary duty owed to her and wi

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In The Matter of The Arbitration Between ': Irare J. Takats Claimant' 1 Award Countei— ' Respondent ; N'ASD *88-01967 vs. Merrill Lynch, Pierce, Fenner & Respondent' Smith, Inc. Counter- > Claimant SUMMARY OF ISSUES Claimant Imre J. Takats filed this action on June 20, 1988 against Merrill Lynch, Pierce, Fenner fc Smith, Inc., for violations of the margin requirements of Regulation T u

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles D. Terry Case No. 01-03287 Names of Respondents Rex Dale "Corky" Ennis, Jr. American Investment Services, Inc. Hearing Site: Little Rock, AR REPRESENTATION OF PARTIES For Charles D. Terry hereinafter referred to as "Claimant": Gary P. Barket, Esq., Little Rock, AR. For Respondent Rex Dale "Corky" Ennis, Jr. ("Ennis"): Matthew Blayne

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) RAY KENNELLY ) Claimant } and ) ) CASE NO. 88-01965 MERRILL LYNCH, PIERCE, FENNER & SMITH, ) INC. ) ) Respondent ) CASE SUMMARY Ray Kennelly ("Claimant") alleged that Merrill Lynch, Pierce, Fenner & Smith, Inc. breached its agreement and fiduciary duty to the Claimant by not watching the Claimants' account as its agent had promise

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tom Lilly Claimant(s) vs. 88-01958 Cornwall, Abbott & Gray, Rick Whatley and Roselee Gardner Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Tom Lilly alleged that Respondent(s) Cornwall, Abbott & Gray, Rick Whatley and Roselee Gardner misrepresented material facts as to an investment in options. Respondent(s) deny Claimant'